Branch offices
3 offices
FINRA: Small firm
CRD #164447 · FINRA BrokerCheck + SEC IAPD
Lake Street Capital Markets, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lake Street Capital Markets, LLC ranks #13,095 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #32 of 42 on the same disclosure sort used on the state browse page. Lake Street Capital Markets, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 3 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 3
- branch offices
- 0
- disclosures
- #13,095 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 164447 Lake Street Capital Markets, LLC
Lake Street Capital Markets, LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 164447
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 3
- PER-OFF 0.00
- RANK #13,095 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Lake Street Capital Markets, LLC ranks #13,095 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 3 offices
Clean disclosure surface
Lake Street Capital Markets, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 3 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Minneapolis, MN
- CRD Number
- 164447
Clean BrokerCheck surface
Lake Street Capital Markets, LLC's clean BrokerCheck surface
Lake Street Capital Markets, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 3 branch offices (Grade A).
Lake Street Capital Markets, LLC shows zero reportable disclosures across 3 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Lake Street Capital Markets, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Minnesota cohort · 0.00× state average
Lake Street Capital Markets, LLC sits below the Minnesota disclosure average
Lake Street Capital Markets, LLC reports 0 BrokerCheck disclosures, 0.00× the Minnesota average of 13.1, lighter than most of the 42 graded firms filed there.
In Minnesota, 18 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Minnesota state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Lake Street Capital Markets, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lake Street Capital Markets, LLC ranks #13,095 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #32 of 42 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for Lake Street Capital Markets, LLC?
A grade of A means Lake Street Capital Markets, LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Lake Street Capital Markets, LLC have?
Lake Street Capital Markets, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Lake Street Capital Markets, LLC?
Lake Street Capital Markets, LLC operates 3 branch offices and is classified by FINRA as a small firm, registered in MN (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Lake Street Capital Markets, LLC's disciplinary record?
You can verify Lake Street Capital Markets, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 164447. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Lake Street Capital Markets, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Lake Street Capital Markets, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Lake Street Capital Markets, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Lake Street Capital Markets, LLC's 0.00
- Firms in MN - state roster that includes Lake Street Capital Markets, LLC's registration home.
- How to Vet a Financial Advisor - Use Lake Street Capital Markets, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Lake Street Capital Markets, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Lake Street Capital Markets, LLC.
- Compare firms - put Lake Street Capital Markets, LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.